L Reynolds Cahoon CIO
National Archives And
Embedding Electronic Records Management Into the Fabric of
Your Agency
OUR PAINFUL REALITY
THE RECORDS
MANAGEMENT WORLD
WE HAVE PREPARED
FOR NO LONGER EXISTS
Take Aways
Effective Records Management requires:
Simultaneous attention to People, Process and Technology
Integrating Records Management into Agency Business Processes and IT Governance and Applications
A Persistent E-Records Preservation and
Access Capability-- critical to the future of
Records and Information Management From 30K Ft.
Decline in number of staff specializing in filing
Investment in Software functionality that creates records is growing
Mission critical records are often not sharable, retrievable or useable
Copies proliferate; data conflicts or is unreliable
Email often replaces phone conversations, meetings and formal written communication
Instant Messaging increasingly replaces email Litigation and discovery costs skyrocketing
Authenticity is questioned
Premature destruction
The Challenge of Electronic Records
Authenticity – Over Time
Variety – 4,800+ Different Types of E-Record Formats Complexity – Increasingly Sophisticated Formats
Volume – Vast Quantities of Records
Obsolescence – Constantly Changing Technology
User Expectations –Evolving, Unrelenting
A System
The performance of any part affects the performance of the whole
How any part affects the performance of the whole depends on what one or more of the other parts are doing
Group the parts in any way and the groups will possess the first two properties
A collection of two or more parts which interact
with each other to function as a whole. Systems
have three fundamental properties:
Profound Conclusions
A system is not the sum of its parts but a product of the part’s interactions.
The essential properties that define any system are properties of the whole and none of the parts have those properties.
When we take a system apart it loses its defining
characteristics.
So What?
Can not understand the whole system just by understanding the parts
Obvious interventions often produce non- obvious consequences
Cause and effect are not closely related in time and space
Dividing an elephant in half does not
produce two small elephants
So What?
Today’s problems come from yesterday’s solutions
There is no “Blame”
If the parts are all trying to optimize themselves, the whole is sub-
optimized
Systems Thinking
Seeing interrelationships rather than linear cause-effect chains
Seeing processes of change rather than snapshots
Helps us see how we create our reality
Systems Thinking
Points to higher leverage solutions to problems
Helps us understand and describe complex issues
A discipline for seeing structures
underlying seemingly diverse personal,
organizational and societal issues
Events, Patterns, and Structure
Structure is Harder to See
Structure is Harder to See
Move from thinking about events to observing history and on to uncovering structures.
If we see the world as events causing further events, we can react.
If we see trends and patterns, we can anticipate.
But if we can understand the underlying structure, we can change it. This is the
opportunity to influence the events and patterns
in our favor.
Exploring Structure and Relationships
General Counsel
Records
Information Technology Program
Requirements
People
Process
Technology
The Big Picture Goals
Enterprises economically and effectively create and manage records necessary to meet business needs,
Records are kept long enough to protect rights and assure accountability, and
Records of archival value are preserved
and made available for future generations
Creating The Balance
Deliver
Bill
Order
People Dynamics
Program Managers
Information Technology Staff
Records Management Staff
General Counsel
Staff
The People Dimension Records Managers
Structure
– Authority
– Position Levels
– Reporting Relationships
– Development Team Composition
Competencies
– Electronic Records Management – Language
– Risk Assessment & Management – Business Process Design
– Systems Analysis
– Requirements Development
The People Dimension
Performance Management
– Expectations Management – Incentives/Rewards
– Performance Plans
Continuous Training
– Evolving Development Plans – Evolving Curriculum
Change Management
Process
Capital Planning and Control Enterprise Architecture
Business Process Design
Solution Development Lifecycle
Deliver
Bill
Order Deliver
Bill
Order
Records Management In Capital Planning
Will proposed system create records?
Will proposed system be required to support electronic recordkeeping ?
Who will represent records management on team?
Will execution of system business processes result in the generation, management/distribution of
intellectual capital, other products, or electronic files across the business and/or extended enterprise?
Are resulting outcomes/products used in making
business decisions?
Federal Enterprise Architecture Reference Models
Performance and Business Driven Component-Based Architectures
Performance Reference Model (PRM)
• Inputs, Outputs, and Outcomes
• Uniquely Tailored Performance Indicators
Business Reference Model (BRM)
• Lines of Business
• Agencies, Customers, Partners
Service Component Reference Model (SRM)
• Service Domains, Service Types
• Business & Service Components
Data Reference Model (DRM)
• Business-focused Data Standardization
• Cross-Agency Information Exchanges
Technical Reference Model (TRM)
• Service Component Interfaces, Interoperability
• Technologies, Recommendations
Specify Records During Business Process Design
Business Result Create Record
Start
Business Process Design
Does this transaction require:
Evidence of decisions or action?
Evidence of performance?
Compliance with applicable statutes, regulations, orders, and other directives that require business unit to create records?
Documentation to enable business unit to protect its interests?
Accountability for the use of resources?
Business Process Design (cont.)
Does this transaction require:
Documentation of decision-making processes consistent with the law?
Preservation of the agency’s corporate memory, and a capability for tracking business transactions over time?
Creation of records of significant government policies and activities that must be kept for posterity?
A record of communications within/between agencies,
and between the agency and the general public (as
Concept Development
Requirements Definition
Preliminary
Design Detail Design
Development
Integration &
System Test
Development &
Acceptance
Production
Product Plan Phase Deliverables
Testbeds and prototypes
To next phase
Pilots
To next phase
Production and evolutionary releases
Another Phase?
New Phase Planning
Yes
Based on needs identified in BPD and approved in CPCP Includes creation points for records
Solutions Development Life Cycle Method
RM in Solutions Development Life Cycle Methods
Ensure records creation points in the Business Process Design are in the system design
Re-evaluate records creation points at each iteration of system development/re-design Migrate records at system upgrade
Manage records, including meta-data definitions
& attributes at system retirement and roll over
Transfer records, including meta-data definitions
& attributes as appropriate
Technology
Enterprise Architecture Service Components
Persistent Object Preservation
Federal Enterprise Architecture Reference Models
Performance and Business Driven Component-Based Architectures
Performance Reference Model (PRM)
• Inputs, Outputs, and Outcomes
• Uniquely Tailored Performance Indicators
Business Reference Model (BRM)
• Lines of Business
• Agencies, Customers, Partners
Service Component Reference Model (SRM)
• Service Domains, Service Types
• Business & Service Components
Data Reference Model (DRM)
• Business-focused Data Standardization
• Cross-Agency Information Exchanges
Technical Reference Model (TRM)
• Service Component Interfaces, Interoperability
• Technologies, Recommendations
Records MgtPolicy, Transaction Outcomes, Records Components,Functions
Component Definition
A self-contained
business process or service with
predetermined functionality
that may be exposed through a
business or technology interface.
Component Attributes
A software component should be well
documented to promote understanding of its capabilities, and encourage its consumption.
A component should clearly separate the
definition of the services that it provides from its implementation of those services.
A true component can be independently
developed, delivered, and installed without
complex interdependencies on other external
components.
Core RM Capabilities
A “core” set of records management capabilities might include:
– Record Organization/classification scheme and file plan
– Record capture, declaration, and management – Record search, display and presentation
– Record retention and disposal
– Access control
Core RM Capabilities Provide
Audit
Reporting Usability
Design & Performance
Compliance with statutes, regulations, and
standards
Bringing It All Together
Enterprise Architecture
– Aligns people, technology, and business goals
– Establishes the process for
documenting lines of business funding review
technology implementation
– Exposes business functions common to all agencies such as Records Management
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test
Review RM Components for
Re-Use Business Process
Design Methods
Bringing It All Together
Capital Planning &
Investment Process
– Ensure RM requirements are in the budget
– Fund/approve systems upgrade or initial purchase
– Include funding of RM components
– Ensure IT solution satisfies EA requirements
– Adjust/readjust ROI for re-used
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test
Review RM Components for
Re-Use Business Process
Design Methods
Bringing It All Together
Business Process Design Methods
– Identify business transactions – Identify points for record
creation
– Identify records management functions to be supported
– Identify RM components for re-use
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test
Review RM Components for
Re-Use Business Process
Design Methods
Bringing It All Together
Solution Development Life Cycle
– Procure/acquire system – Ensure BPDM & CP
requirements are met
– Determine system life cycle review
– Initiate review, upgrade process
– Identify RM components for
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test
Review RM Components for
Re-Use Business Process
Design Methods
Bringing It All Together
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test
Review RM Components for
Re-Use Business Process
Design Methods
IT Management Processes
Capital Planning &
Investment Process
SDLC
• Concept
• Requirements
• Design
• Develop
• Test Enterprise
Architecture
Records Management Business Process
Design Methods
The Challenge of Electronic Records
Authenticity – Over Time
Variety – 16,000+ Different E-Record Formats
Complexity – Increasingly Sophisticated Formats Volume – Vast Quantities of Records
Obsolescence – Constantly Changing Technology
User Expectations – Evolving
NARA has 30 years of experience with electronic records
Simple Files
– Comma delimited – ASCII
– Flat Fixed Length
Does not meet the need
NARA’s Current Electronic Records System
The Electronic Records Archives
Electronic Records Archives
The Archivist’s Directive:
ERA is NARA’s Strategic Response
The Electronic Records Archives (ERA) is a comprehensive,
systematic, and dynamic means of preserving and providing continuing access to authentic electronic records over time.
The goal of ERA is to enable NARA to preserve and provide access to any type of electronic record created anywhere in the Federal
Government.
ERA’s Vision Statement
"ERA will authentically preserve and provide access to any kind of electronic record, free from dependency on any specific hardware or
software, enabling NARA to carry out its mission into the future."
Who Faces This Challenge?
Any enterprise that
creates information that must endure longer
than the technology
that created it!
Who Else Needs This Capability?
Aerospace
Pharmaceuticals Energy
Transportation Electronics
Services
Actually, every enterprise and individual
who has need to access electronic
Create a Capability That Will:
Preserve authentically any type of electronic record, Created using any type of computer application,
On any computing platform,
From any entity in the Federal Government and any donor.
Provide discovery and delivery to anyone with an interest and legal right of access,
Now and for the life of the republic and beyond
Persistent
– To manage and access the records over time.
Authentic
– To ensure that these are the original records
– Records that are created with attached documentary information
Scalable
– To grow and adapt to increasing volumes and evolving types of electronic records
ERA Requirements
National Science
Foundation San Diego Super
Computer Center
Global Grid Forum
National Computational Science Alliance
Army Research Laboratory
National Institute of Standards
& Technology
NIST
National Partnership for Advanced Computational Infrastructure
Government and Private Sector
Partners
ERA Virtual Workspace Model
Metadata
Archival Repository
Order Reference Workbench
Query
Rebuild
Present
Tapes
Accessioning Workbench
Accession
Verify
Transform, Wrap &
Containerize Describe
Collection
Disks
Internet
Collection
Collection
Records
Protect the system and the records with state-of-the-art security.
Accommodate substantial growth in volume
& variety.
Support the collection, integration, and sharing of information about records.
Support the workflow associated with business processes.
Interoperate with other systems.
What Will the System Do?
Architecture Requirements
Open Event Driven Architecture (ESB) Evolvable
Integrated COTS
Central Business Rule Repository
Distributed / Grid Centric / Self-managing Secure / Classified As Well As Unclassified Highly Scaleable In All Dimensions
HW / SW Independent Component Intermediation
Highly Reliable
Where are we now?
• Awarded Two Design Contracts – 3Q04
• Select a Single Developer – 3Q05
• Initial Operating Capability – FY 2007
• Five Increments w/ Multiple Releases
• Full Operating Capability - 2011
FY 2007 12/03
Released Request for
Proposal
Contract Award
Select Single Developer
Initial Operating Capability
(IOC)
Full Operating
2011
The Electronic Records Archives
Major Milestones
3rd Qtr. 2004 I1
3rd Qtr. 2005
I2 I3 I4 I5
2 years 1 year 1 year 1 year
1 year
